Search Result

221 - 240 of 1481 items.
Results filter

Search Term(s)

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).

REC 4.5 FCA supervision of action by UK RIEs under their default rules

As Published: 2013

REC 4.5 FCA supervision of action by UK RIEs under their default rules

APER 4.4 Statement of Principle 4

As Published: 2015

APER 4.4 Statement of Principle 4

MAR 5.3 Trading process requirements

As Published: 2007

MAR 5.3 Trading process requirements

FEES 6.5 Compensation costs

As Published: 2006

FEES 6.5 Compensation costs

SYSC 7.1 Risk control

As Published: 2006

SYSC 7.1 Risk control

REC 4.2 The supervisory relationship with UK recognised bodies

As Published: 2007

REC 4.2 The supervisory relationship with UK recognised bodies

GEN 5.1 Application and purpose

As Published: 2003

GEN 5.1 Application and purpose

IPRU-INV 5.4 Financial resources requirement

As Published: 2016

IPRU-INV 5.4 Financial resources requirement

LR 14.3 Continuing obligations

As Published: 2006

LR 14.3 Continuing obligations

COLL 12.3 EEA UCITS management companies

As Published: 2013

COLL 12.3 EEA UCITS management companies

SUP 9.1 Application and purpose

As Published: 2001

SUP 9.1 Application and purpose

COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary

As Published: 2006

COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary

INSPRU 8.2 Special provisions for Lloyd's

As Published: 2009

INSPRU 8.2 Special provisions for Lloyd's

COND 2.4 Appropriate resources

As Published: 2004

COND 2.4 Appropriate resources

FEES 10.1 Application, purpose and background

As Published: 2015

FEES 10.1 Application, purpose and background

SUP 8.6 Publication of waivers

As Published: 2004

SUP 8.6 Publication of waivers

COLL 11.6 Winding up, merger and division of master UCITS

As Published: 2013

COLL 11.6 Winding up, merger and division of master UCITS

CASS 7.14 Client money held by a third party

As Published: 2015

CASS 7.14 Client money held by a third party

COCON 2.3 Firms: training and breaches

As Published: 2015

COCON 2.3 Firms: training and breaches

FEES 5.1 Application and Purpose

As Published: 2005

FEES 5.1 Application and Purpose